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Showing 3961 to 3970 of 4349 search results for FSA Final Notice.
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Final Notice 2020: Asia Research and Capital Management Ltd [pdf]
This Final Notice refers to Asia Research and Capital Management’s failure to notify the FCA and disclose to the public its net short position in Premier Oil in breach of short selling disclosure rules. We have fined the firm £873,118. -
Final Notice 2018: Asset Trust Group (Paul Hammond trading as) [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the General Insurance and Protection sector and Investment advisory sector. We imposed a -
Final Notice 2018: Vehicle Contract Solutions (Roy Ulliott Trading as) [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Information on Cum-Ex trades-November 2022
FCA provides information on Ex trades. -
Final Notice 2019: Paul Dennison (Yes Car Contracts trading as) [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Becoming an appointed representative if you’re a funeral plan intermediary
Find out how to become an appointed representative (AR) that sells and distributes funeral plans on behalf of a principal firm. -
FCA bans two individuals for lack of integrity
FCA bans two individuals for lack of integrity. Press Releases First published:. 09/06/2016. Last updated: 09/06/2016. Share page. FCA bans two individuals for lack of integrity. The Financial Conduct Authority has banned Mark Kelly and Patrick -
Final Notice 2021: Black and White Accident Management Limited [pdf]
This final notice (Black and White Accident Managment Limited)) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s -
Final Notice 2021: Enrico Riga (Trading as Shire Hampton Motors) [pdf]
This final notice Enrico Riga (Trading as Shire Hampton Motors)) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a -
Investors warned over Connaught Income Funds
We believe this is misleading. Connaught’s marketing material compares the returns on its funds with fixed-rate notice bank and building society accounts. ... Always make sure your financial adviser is qualified and regulated by the FSA (please check